Starfleet General Orders and Regulations

"In a part of space where there are few rules, it's more important than ever that we hold fast to our own. In a region where shifting allegiances are commonplace, we have to have something stable to rely on. And we do. The principles and ideals of the Federation. As far as I'm concerned, those are the best allies we could have."

Starfleet General Orders and Regulations were a series of guidelines used to instruct members of Starfleet on the proper etiquette and policy in a situation that required consultation for a resolution. These protocols were the foundation of Starfleet and the responsibility of its officers to uphold and protect, ranging from all manners of duty, such as interstellar diplomacy to punctuation of reports. Violations of protocol could have led to being placed on report, a court martial, demotion of rank, or other reprimands.

These guidelines' fundamental principles were integral for Starfleet officers to help avoid conflicts of interest, (TNG: "Redemption") including one's duty to the truth. (TNG: "The First Duty") Guidelines were useful in many situations, including when flag officers could not be consulted to resolve a situation. (VOY: "Equinox")

General Order 4: Though stated in 2269 (stardate 5928.5) that "Starfleet expressly forbids the death penalty", this general order was stated to be the "only one exception", and as such, mutiny was not considered to be in violation of this order. (TOS: "Turnabout Intruder")

It was not explained what exactly this order entailed, though mutiny was not considered to be in violation of this particular order

See below for more information on general orders and the death penalty.

General Order 6: If all life aboard a Federation starship had perished, the ship would self-destruct within twenty-four hours to protect other ships from potential hazards within. (TAS: "Albatross")

General Order 7: No vessel under any condition, emergency or otherwise, is to visit Talos IV. This was also said to have been "the only death penalty left on our books". (TOS: "The Menagerie, Part I") When broken by Spock in 2267, Starfleet issued the following statement: "In view of historic importance of Captain Pike in space exploration, General Order 7 prohibiting contact Talos IV is suspended this occasion. No action contemplated against Spock. Proceed as you think best." (TOS: "The Menagerie, Part II")

General Order 12: "On the approach of any vessel, when communications have not been established..." This order began to be cited by Saavik in 2285, but she was interrupted before completing the quotation of the order. (Star Trek II: The Wrath of Khan)

Despite the interruption, it was implied that the order instructed that the ship was supposed to go to red alert when faced with a non-communicative ship.

General Order 15: "No flag officer shall beam into a hazardous area without armed escort." When Saavik cited this order in 2285, Kirk replied, "There's no such regulation." (Star Trek II: The Wrath of Khan)

Saavik responding to Kirk's retort with understated amusement suggests either that her description of this general order was not accurate and was intended only to help persuade Kirk to allow her on the landing party, or that the regulation existed and Kirk was knowingly trying to circumvent it.

Starfleet Order 104: Section B, Paragraph 1-A – In the absence of a starship's assigned captain, a flag officer had the authority to assume command of the starship should they have deemed it necessary. (TOS: "The Doomsday Machine"; VOY: "Tinker Tenor Doctor Spy")

Starfleet Order 104: Section C – Should it be proven with admissible evidence that the flag officer who had assumed command was medically or psychologically unfit for command, the starship's ranking officer could relieve them on that basis. However, such an action was required to be supported by an appropriate certification of unfitness by the ship's chief medical officer (requiring the CMO to also produce test results to that effect) or other clear evidence, such as an act of attempted suicide. (ENT: "Hatchery"; TOS: "The Doomsday Machine"; VOY: "Tinker Tenor Doctor Spy")

Starfleet Order 2005: Orders the destruction of a starship by allowing matter and antimatter to mix in an uncontrolled manner. This was a last resort for a captain that allowed them to prevent their ship or crew from falling into enemy hands. (Star Trek: The Motion Picture)

Special Order 66715: Federation order that stated, "[Starfleet has] the authority to neutralize security threats to Deep Space 9 by any means necessary." (DS9: "Inquisition")

This might not actually be a real order, as it appeared only in a simulation created by Luther Sloan. Nevertheless, considering the importance of keeping the station under Federation control during the Dominion War, it may also very well have been a real order.

Regulation 3 (Paragraph 12): In the event of imminent destruction, a Starfleet captain was authorized to preserve the lives of his crew by any justifiable means. Captain Ransom attempted to use this regulation to convince Captain Janeway that actions he took against a species of nucleogenic lifeforms were justified, but Janeway doubted that the regulation covered mass murder. (VOY: "Equinox")

Regulation 7 (Paragraph 4): An officer must consider themselves under arrest, unless in the presence of the most senior fellow officers presently available, the officers must give satisfactory answer to those charges... (TOS: "The Omega Glory")

Section 12, Paragraph 4: Related to the captain undertaking command of an away mission. During his best man speech at the wedding of William T. Riker and Deanna Troi in 2379, Jean-Luc Picard stated that Commander Data would never let him undertake an away mission; Data reacted to that by reciting this regulation but was told to "shut up" by Picard before he could complete his sentence. (Star Trek Nemesis)

Regulation 17.43: In the alternate reality, this regulation related to Starfleet's ethical code of conduct, and was part of the Starfleet Code. Starfleet Academy cadets found cheating were accused to be in violation of the regulation. (Star Trek)

Regulation 42/15: "Pressure Variances in IRC Tank Storage". Part of the basic operational specifications for impulse engines, written by Montgomery Scott. The tanks could actually handle more pressure than the regulations allowed – in 2369, Geordi La Forge cited it as part of the impulse specifications while he and Scott worked to make the USS Jenolan operational, at which point Scotty, realizing that he was thinking of this regulation, assured him that, as its author, he knew the tanks could be more efficient, but that La Forge should "Forget it. I wrote it; a good engineer is always a wee bit conservative... at least on paper." (TNG: "Relics")

Regulation 46A: If transmissions were being monitored during battle, no uncoded messages were to be transmitted on an open channel. (Star Trek II: The Wrath of Khan)

Regulation 191 (Article 14): In a combat situation involving more than one ship, command fell to the vessel with tactical superiority, should there not be a higher ranking officer present. (VOY: "Equinox")

Regulation 619: The commanding officer must relieve themselves of command if their current mission leaves them emotionally compromised and unable to make rational decisions. In 2258 of Nero's alternate reality, when, after the destruction of Vulcan, Spock met a young James T. Kirk, marooned by this timeline's Spock, before returning him to the USS Enterprise, he told Kirk to use this regulation in order to take command of the ship. The elder Spock's advice was motivated by knowing that the conservative course his younger self would take would doom Earth to the same fate as Vulcan, while the unorthodox strategy Kirk would follow just might save it. Kirk succeeded in provoking Spock and he resigned command, but acted as Kirk's first officer afterwards, during the Battle of Earth. (Star Trek)

In the novelization of the film, Spock, seeing that Kirk was clearly unfamiliar with the regulation, shrugs and admits that he had almost forgotten what little use the Kirk he knew had for such things.

Unnumbered regulation: Regulation that stated that the captain and first officer could not be on an away mission at the same time. In the alternate reality, Spock told acting captainJames Kirk that he would cite this regulation when Kirk volunteered to beam to the Narada with him but did not do so because he knew Kirk would ignore it. (Star Trek) This regulation was also ignored when both Captain Kathryn Janeway and Commander Chakotay were infected with an unknown virus which inhibited their return to Voyager after an away mission. This resulted in both crew members being isolated on a planet in the Delta Quadrant and Lieutenant Tuvok being left in command of Voyager. (VOY: "Resolutions")

Unnumbered protocol: Away teams must be composed of more than one crew member. Both Kathryn Janeway and Lieutenant Commander Tuvok cited this protocol to Seven of Nine when conducting an away mission. (VOY: "Hunters")

Since this occurred during a holoprogram, it might not have been a real procedure, although there might have been some basis or truth to it given both the severity of the situation and the lack of (initial) resistance from Julian Bashir, the only other real person during the simulation.

Regulation 121 (Section A): The chief medical officer has the power to relieve an officer or crewman of his or her duties (including one of superior rank) if, in the CMO's professional judgment, the individual is medically unfit, compromised by an alien intelligence, (TNG: "Lonely Among Us") or otherwise exhibits behavior that indicates seriously impaired judgment. A Starfleet officer can face court martial for failing to submit to such a relief. In an alternate timeline generated by the Krenim, Captain Kathryn Janeway was relieved of her duties under this regulation by Voyager's EMH, who had been observing reckless behavior on her part for weeks and attributed it to Traumatic Stress Syndrome. Janeway refused to surrender her duties, as she felt her efforts to bring her crew home were of more importance. Since security personnel had abandoned the ship, the EMH had no means of enforcing the regulation anyway. Janeway's actions later resulted in the erasure of this timeline, so the issue was non-existent. (VOY: "Year of Hell, Part II") In 2375, aboard the Silver BloodVoyager, Neelix became, unofficially, chief medical officer after the loss of The Doctor. He threatened, in a lighthearted manner, to use his "authority" to relieve Janeway of her duties when she insisted on remaining in command although fatigued. (VOY: "Course: Oblivion")

Ensign Harry Kim referred to privacy protocols being violated by Lieutenant Commander Tuvok while the latter was investigating an attack on Ensign Tabor and read a letter that Harry's cousin, Dennis, had sent from Earth. Tuvok stated that, as chief of security, he had authority to suspend the protocols under special circumstances. (VOY: "Repression")

Unnumbered protocol. Tuvok once claimed that use of the transporters while at warp was a direct violation of Starfleet safety protocols. He did not cite the protocol by number, though the reason for caution was cited as having to do with the speed differential between two vessels. (VOY: "Maneuvers")

Harry Kim's reaction suggests that the safety protocol may more precisely be a ban against using transporters while the beaming vessel is at warp and the target vessel is at impulse, or stationary.

Protocol 28 (Subsection D): "In the event of hostile alien takeover, the EMH is to deactivate and wait for rescue." (VOY: "Message in a Bottle")

Protocol 49.09: Pertained to the treatment of prisoners on board a starship. In the alternate reality, Spock marooned James T. Kirk on Delta Vega. Kirk believed this act to be a violation of this protocol. (Star Trek)

Unnumbered protocol: Luther Sloan, posing as Deputy Director of the Department of Internal Affairs, mentioned there was security protocol that prevented others to talk to prisoners under his authority without his clearance. (DS9: "Inquisition")

Code 1: Signaled either a total or imminent disaster, a possible invasion, or indicated that the Federation was either currently or about to be engaged in open warfare with a hostile power. The code required all Starfleet personnel within the affected area to immediately assume tactical alert. It was also colloquially known as "Defense Alert", or a "Priority One Alert". (TOS: "Errand of Mercy", "The Trouble with Tribbles", "The Alternative Factor")

Code 710: A "quarantine code". No Starfleet- or Federation-registered starship was to approach a system or vessel which was broadcasting Code 710. (TOS: "A Taste of Armageddon")

Code 47: An ultra-secure communications protocol, for captain's eyes only. This code was so secure that all traces of a Code 47 transmission or communication were automatically wiped from all computer records. (TNG: "Conspiracy")

"All research personnel on alien planets are required to have their health certified by a starship surgeon at one-year intervals." (TOS: "The Man Trap")

"The ship's surgeon will require a full examination of any crew member that he has doubts about, including the captain." (TOS: "Turnabout Intruder")

"Nothing shall be beamed aboard until danger of contamination has been eliminated. Beaming down to the surface (of a planet) is permitted, if the captain decides the mission is vital, and reasonably free of danger." (Star Trek III: The Search for Spock; VOY: "Macrocosm")

"All Starfleet personnel must obtain authorization from their CO as well as clearance from their medical officer before initiating an intimate relationship with an alien species." (VOY: "The Disease")

"The transport of a patient is to be performed at the discretion of the attending physician." In 2258 of the alternate reality, Leonard McCoy, citing this, was allowed to bring Cadet James T. Kirk, suspended from duty, along to his posting aboard the Enterprise, as Kirk was quite visibly suffering from the symptoms of a Melvaran mud flea bite. In truth, McCoy himself was responsible for this, having infected Kirk precisely because he would then have the authority to bring his grounded friend aboard the ship. (Star Trek)

Individuals were not allowed to have sexual relations with colleagues, according to Starfleet regulations. (ENT: "Bounty")

This may have been true in the 22nd century, but by the 23rd century it was no longer true. Leonard McCoy told Kirk that "there aren't any regulations against romance" (TOS: "Space Seed") and in the 24th century Picard mentioned to Deanna Troi that "there are no Starfleet regulations about a captain becoming involved with a fellow officer." (TNG: "Lessons")

A captain was not allowed to leave the ship unaccompanied. (ENT: "First Flight")

Removing an individual from a planet against their will violated several regulations, including the Prime Directive. Data reminded William T. Riker of this, who was considering rescuing a group of dissidents of Angel I from execution. They insisted on staying, even if this meant being executed. (TNG: "Angel One")

23rd century Starfleet captains had a high degree of authority on board the ship they were assigned to command. In extremes, a captain could invoke their "personal authority as captain" to order their subordinates to override the orders of a senior officer, even if the captain was not actually on board ship at the time. Such an order would almost certainly result in at least an inquiry after the crisis had passed. Captain Kirk used his "personal authority" to overrule the orders of CommodoreMatthew Decker and to have Spock resume command of the Enterprise during a battle with the planet killer. (TOS: "The Doomsday Machine")

According to Starfleet protocol, "sir" was the proper address when responding to one's commanding officer (or possibly any superior officer), (VOY: "Caretaker") but naval tradition dictated the use of "captain", regardless of the CO's rank. (DS9: "Behind the Lines")

Starfleet rules forbade dealing with outlaws and getting involved in the politics of other cultures. (VOY: "Alliances")

Regulation 6.57: At least two staff officers were to be present during any treaty or contract negotiations. In 2364, Jean-Luc Picard quoted this regulation to Radue of the Aldeans, who had recently kidnapped a group of specially gifted children from the Enterprise, offering scientific knowledge as compensation. Moments later, when Data admitted not to be familiar with the regulation, Picard revealed that it was, in fact, non-existent; it was merely something he had made up on the spot in order to deceive the Aldeans to allow him to bring Beverly Crusher with him to their planet's surface. (TNG: "When The Bough Breaks")

As referred to in the revised final draft script of TOS: "Court Martial", "Regulations 7, Subsection D" related to courts martial. It did not allow the defense to call a witness to provide testimony prior to the prosecution resting its case. The regulation was cited by Areel Shaw during Kirk's court martial at Starbase 11.

In the revised final draft script of TNG: "Evolution", "Protocol 'B'" was said to regulate how crew members could access all power components on a starship if they were no longer deemed reliable.

The Star Trek Encyclopedia (4th ed., vol. 2, p. 180) has a picture of a prop made for AdmiralChristopher Pike's office in Star Trek Into Darkness. This prop has text for the first three Starfleet General Orders. The prop might or might not have appeared in the film. These general orders were written by Chris Gray and modified by Chris St. John. [1] The text was slightly edited by the individual who made the prop for the film.

General Order #2 is a prohibition against the use of unnecessary force:

No Starfleet personnel shall unnecessary use force, either collectively or individually, against members of the United Federation of Planets, their duly authorized representatives, spokespersons, or designated leaders, or members of any sentient member race, for any reason whatsoever.

General Order #3 is on the rights of the individual:

The sovereignty of each Federation member being respected in all things, Starfleet personnel shall observe any or all statutes, laws, ordinances, and rules of governance currently in effect within the jurisdiction of a member world.

Violators of such ordinances will be subject to such punishments or corrections as shall be determined by local governmental bodies.

Varying statements about the status of the death penalty in the Federation and General Orders regarding it have been given in the Star Trek canon. Notably, both General Order 4 and General Order 7 were said to be the only death penalty left at different times.

"The Menagerie, Part I " set in 2267, introduces general order 7 as "the only death penalty left on our books". As it is specific to Talos IV, it was presumably instituted after captain Pike2254 mission to the planet. However, in "Turnabout Intruder", set in 2269, Sulu states "The death penalty is forbidden. There's only one exception", which turns out to be general order 4 (the nature of which remains unspecified).

Further complicating the situation, in "Si Vis Pacem, Para Bellum" admiral Katrina Cornwell, while explaining the Starfleet's policy on prisoners of war to L'Rell that "the Federation has no death penalty". This episode is set in late 2256 or early 2257, after Pike's visit to Talos IV but before The Menagerie, thus making it unclear as to when the death penalty for visiting Talos IV was established.

Regarding the two General Orders each stated to be the only death penalty, if relations with the Talosians have not changed, it could be that one of the two General Orders might have been made to include other planets which might be a threat to the Federation like Talos IV. It is also possible that, in "Turnabout Intruder", Chekov misspoke. In the PC game Star Trek: 25th Anniversary, the USS Enterprisecomputer states General Order 4 is sometimes confused with General Order 7 and the death penalty associated with it more generally refers to high treason.

Starfleet Catastrophic Response Code, Section A: When all forms of communication failed to establish a link between Starfleet vessels and any Federation outpost, all personal and ordnance were required to attempt immediate rendezvous at Starfleet Command. (Star Trek: First Frontier)

General Order 16: All Starfleet ships detecting the energy signature from one of four Malkus Artifacts were under orders to find and confiscate the artifacts. (Star Trek: The Brave and the Bold)

General Order 34: Starfleet captains must honor, respect, and display extreme tolerance for species-based customs and practices insofar as the safety of the vessel was not threatened by such practices. (Star Trek: New Frontier novel Being Human)

Regulation 121: An emotionally compromised officer was not fit to serve in the position of captain. (Star Trek novelization)

Invoked by Kirk during the argument which would lead to his banishment from the Enterprise, this was, at face value, the same thing as Regulation 619 – though given Kirk's clear unfamiliarity with 619, as stated above, it is possible that Kirk was aware that such a regulation existed, but incorrectly remembered the number.

UFP Regulation 342-188564.3 (Paragraph 3): A class-3 biohazard alert. All personnel not part of a Biohazard Response Team were to stay away from any site broadcasting such an alert. (Star Trek: 25th Anniversary, Episode 3: "Love's Labor Jeopardized")

Secret Regulations of Stardate 7500: The exact language was not specified, but the Secret Regulations of Stardate 7500 were outlined as the response to an invasion of the Federation. They were created on stardate 7500, amended stardate 42799, and gave the officer who invoked them the authority to second any Starfleet officers to their command and seniority in command decisions related to the invaders. In 2270, under the authority of Starfleet General Order Three, Commander Riker invoked the secret regulations in response to the threat of an invasion by an alliance of the Borg Collective and a breakaway faction of the Romulan Star Empire. (Star Trek: The Return)

Starfleet Protocol 547c: Not really known, but seeing as it was cited while trying to shut down force fields leading to the USS Enterprise-C, it is assumed that it was a security protocol. It was cited as an utterance by an annoyed Tasha Yar when she realized there was a group of force fields that had been missed when shutting down security. Frustrated, Richard Castillo griped that the Tholians had most likely never heard of Protocol 547c. (Star Trek Online, "Temporal Ambassador")